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Research & Development Management

Guidelines on Joint Authorship for Academic Staff and Postgraduate Research Students

1. Introduction
2. Definition of Authorship
3. Code of Conduct for Research: Authorship
4. Responsibilities of Supervisors: Publication
5. Joint Authorship and the Thesis
6. Joint Authorship: Agreement by Co-Authors
7. Joint Authorship: Advice and Appeals Process
8. Joint Authorship and Intellectual Property

1. Introduction

The University encourages joint authorship by academic staff and postgraduate research students in appropriate cases. For students, writing for publication during candidature gives access to the critical comments of specialist referees before thesis examination, and enhances international/national recognition of the quality of their research before and after research degrees are conferred. Joint authorship with academic staff can improve students' research profile and increase their opportunities for research and academic employment.

For academic staff, joint authorship with postgraduate research students is often a normal part of the process of research training. In Science Schools in particular, research projects are usually conceived by supervisors, who also play a significant role in interpretation of data. The Murdoch University Research Index (MURI), the formula used to allocate the Research Index Fund (RIF) to Schools, currently includes 50% for research output (publications and postgraduate research students completions). Staff benefit directly from increased publication output, including co-authored publications. The Research Infrastructure Block Grant (RIBG) is allocated to Schools on the basis of research performance via the MURI, so Schools benefit from increased publication output. The DEET Research Quantum allocation to the University is based on a Composite Index with publication outputs by staff and students as one measure. Research publications are increasingly important for staff, research students and the University, and authors are expected to acknowledge the contributions of co-authors and the University in appropriate ways.

2 Definition of Authorship

According to the AVCC and NHMRC, 'Authorship is participation in conceiving and/or executing and/or interpreting at least that part of a publication in a co-author's field of expertise, sufficient for him/her to take public responsibility for it... "Honorary authorship" is an unacceptable practice' (Murdoch University Research Guide section 10)

3 Code of Conduct for Research: Authorship

The definition of authorship is elaborated in section 4 of the Code of Conduct for Research (see the Research Guide):

4.2 The minimum requirements for authorship of a publication should be in participation in conceiving, executing or interpreting at least part of the research reported. "Honorary authorship" is unacceptable. "Honorary authorship" occurs when a person is listed as an author of a publication when they have not participated in any substantial way in the conception, execution or interpretation of at least part of the work described in the publication.

 

4.3 Authors should ensure that the work of research students, research assistants and technical officers is properly acknowledged ...

The Code of Conduct includes a requirement that 'one author (by agreement among the authors) should formally accept overall responsibility for the entire publication.', including a 'Statement of Authorship and Location of Data form'. All authors are required to sign this 'Statement'.

The Code of Conduct defines 'misconduct in research', including 'misleading ascription of authorship including the listing of authors without their permission, attributing work to others who have not in fact contributed to the research, and the lack of appropriate acknowledgment of work primarily produced by a research student/trainee or associate'. Procedures for dealing with allegations of 'misconduct in research' are specified in the Code of Conduct.

4 Responsibilities of Supervisors: Publication

Supervisors' responsibilities include 'advising the candidate on the aims, scope and presentation of the thesis and of any publication likely to arise from the work'. Possible publications are normally discussed during candidature, as well as after award of the research degree. In most Schools of study co-authorship is a normal part of the publication process, either during or after candidature, if the condition of authorship in (1) is satisfied. Supervisors should also ensure that Murdoch University is properly acknowledged in any publication based on research conducted by their students in the University.

5 Joint Authorship and the Thesis

The Regulations for the degrees of PhD and M Phil include provision, where appropriate, for incorporation in the thesis of 'any publication of which the candidature is the sole or joint author, and in the case of joint authorship the work done by the candidate shall be clearly indicated...'. If this work is done in conjunction with the supervisor, the candidate's personal share in the investigation must be clearly stated, and 'this statement certified by the supervisor'.

6 Joint Authorship: Agreement by Co-Authors

The 'Statement of Authorship' requires agreement among the authors. Authors will normally agree about the sequence of authors based on their individual contributions to the publication. In some instances it may be appropriate for a supervisor to be the principal author, in other instances a research student, depending on their actual contributions. This issue should be discussed by the authors for each proposed joint publication. Academic seniority is not a relevant factor, only the extent of the real contribution.

7 Joint Authorship: Advice and Appeals Process

If either a student or staff co-author cannot agree about the sequence of authors or about joint authorship, confidential advice should be sought in the first instance from the School Dean, Unit Head or Chair of the School Research Committee. Further confidential advice may be sought from the Chair of the Research Degrees and Scholarships Committee and/or the Pro Vice-Chancellor (Research). Students may also take advice from MUPSA. Both staff and student authors are required to sign the 'Statement of Authorship' form.

If either a student or staff member alleges that there is a lack of proper acknowledgment of work, the procedure for dealing with allegations of misconduct in research is specified in the Code of Conduct for Research.

8 Joint Authorship and Intellectual Property

Details about Intellectual Property, and Murdoch University's Intellectual Property Statute (approved by Senate on 14/8/1995), are contained in the University Handbook or the Research Guide, available in hard copy from the Research Section. Staff or students should seek advice from the Industry Liaison Officer concerning general or specific IP matters.

Responsible Officer: Manager, Graduate Centre
Date of Last Review: 18 October 1995
Date of Authorisation/Approval: 18 October 1995
Authorising/Approving Officer: Research Degrees and Scholarships Committee